5 thoughts on “What can be done by securities agent?”

  1. Securities brokers cannot replace customers with accounts. Including the account opening, cancellation, transfer of accounts for customers, and carried out securities trading or capital access, transferring, querying, etc.
    If according to the "Interim Provisions on the Management of Securities Brokers" Article 13 of the securities agent shall be practiced within the scope of Article 11 of these regulations and the scope authorized by the securities company, shall not have the following behaviors:
    (1) Try, cancel, transfer, transfer, transfer, transfer, transaction or fund access, transfer, inquiry and other matters for customers;
    (2) Provide, disseminate false or mislead customer information, or seduce customers to do it. The necessary securities trading;
    (3) sharing investment income with the customer, and promise the loss of the sale of customer securities or the loss of compensation for the sale of securities; Places to persuade customers to solicit customers such as improper means;
    (5) leak customers' business secrets or personal privacy;
    (6) Provide intermediaries, guarantees or other convenience for financing between customers;
    (7) Provide customers with illegal service places or transaction facilities, or engage in customer recruitment and customer service activities through Internet networks, news media;
    (8) Entrust others to act as they are engaged in customer recruitment and customer service activities ;
    (9) Other behaviors that damage the legitimate rights and interests of customers or disrupt the market order.
    Extension information:

    "Interim Provisions on the Management of Securities Brokers" Article 11 The securities broker can engage in the following parts or all activities according to the authorization of the securities company:
    (1) introduce the basic situation of the securities company and the securities market to the customer;
    (2) introduce the basic knowledge of securities investment and business processes such as account opening, transaction, capital access, etc. to customers;
    ( 3) Introduce the laws, administrative regulations, the regulations of the China Securities Regulatory Commission, the rules of self -discipline, and the relevant provisions of the securities company;
    (4) The research report and investment with securities companies with securities companies Related information;
    (5) Pass to customers to promote the promotion and promotion materials and relevant information provided by the securities company; Other activities engaged in.
    Reference materials Source: Baidu Encyclopedia -Securities Brokers Management Interim Regulations

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  2. The securities broker practitioners must obtain the qualifications of the securities qualification examination before they can engage in the securities brokerage business. Securities brokers cannot violate national laws and regulations and professional ethics.
    The securities broker shall not have the behavior of the "Interim Provisions on the Interim Provisions on the Management of the Securities Broker" within the scope of the "Interim Provisions on the Management of the Securities Broker" and the scope of the securities company authorized by the securities company. Essence
    The expansion information
    If securities agent's responsibilities are in securities transactions to act as agent customers to buy and sell securities to engage in intermediary business. That is to say, in securities transactions, the majority of securities investors do not directly buy and sell securities, but to buy and sell securities through securities brokers.
    If securities brokers and securities companies are commissioned relationships, non -labor contracts, so securities brokers are closer to individual households in law. Securities companies do not need to buy social security for agents. In terms of tax payment, the personal income tax of more than ten years ago, over 800 levy 20%of personal income tax. The work content of the securities broker is the same as the customer manager of the company's official employee.
    Reference information Source: Baidu Encyclopedia-Securities Broker

  3. Essence According to my country's "Interim Regulations", securities brokers are strictly forbidden to engage in the following behaviors: (1) instead of customer management accounts. Including the account opening, cancellation, transfer of accounts for customers, carried out securities trading or capital access, transferring, query, etc.; (3) Share investment income with customers to make a commitment to the income of customer securities sale or the loss of compensation for the sale of securities; (4) leak customers' business secrets or personal privacy; Guarantee or other convenience; (6) provide customers with illegal service places or transaction facilities; and so on.
    In short, in my country, securities brokers must not intervene in the customer's specific securities transactions, let alone exceed the authorization of securities companies to provide customers with illegal investment services

  4. "Interim Provisions on the Management of Securities Brokers"
    Article 13
    If securities brokers shall be practiced within the scope of the provisions of Article 11 and the scope of the securities company. Customers apply for account opening, cancellation, transfer, securities subscription, transaction or capital access, transfer, inquiry, etc.; (3) Share investment income with customers, and promise the income of customer securities sale or the loss of compensation for the sale of securities; n (5) leak customer's business secrets or personal privacy;
    (6) Provide intermediaries, guarantees or other convenience for financing between customers;
    (7) Provide customers with illegal service places or transactions Facilities, or engage in customer recruitment and customer service activities through the Internet, news media;
    (8) Entrust others to act as they are engaged in customer recruitment and customer service; Other behaviors that disturb the market order.

  5. Securities brokers must not have the following behaviors: 1. Try to open, cancel, transfer, transfer, transfer, transfer, transfer, query, etc. of securities subscriptions, transactions or funds; Tempting customers to conduct unnecessary securities trading; 3. Share investment income with customers, and make commitments to the income of customer securities sale or the loss of compensation for the sale of securities;正当手段招揽客户;5、 泄漏客户的商业秘密或者个人隐私;6、为客户之间的融资提供中介、担保或者其他便利;7、为客户提供非法的服务场所或者交易设施,或者通过互联网络、 News media engaged in customer recruitment and customer service activities; 8. Entrust others to act as they engaged in customer recruitment and customer service; Signing on related contracts, agreements, and documents on behalf of customers; 11. In the process of practice or receiving customer funds and property; 12. Provide customers with uniform research reports provided by the securities company that are not served by the securities company and information related to securities investment, Propaganda materials and relevant information of securities financial products; 13. Other behaviors that harm customers' legitimate rights and interests, disrupt market order or violate professional ethics.

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